Easy Reference Guide of Safety Management System-related Documents

This easy reference guide lists regulations, exemptions, advisory circulars, publications, Transport Canada operational policies and Transport Canada civil aviation inspector procedures related to safety management systems. The documents are organized in the following categories:

If you do not see your certificate type listed, consult the implementation schedule of forecasted in-force dates (subject to change without notice) of regulations pertaining to safety management systems.

General Information

Applicability Document Type References Description Additional information
General Publication TP 13739 Introduction to Safety
Management Systems
 
Small aviation organizations Publication TP 14135 Safety Management Systems for
Small Aviation Operations - A Practical Guide to Implementation
 
Large and/or complex aviation organizations Advisory circular  AC 107-001 Guidance on safety management systems development  
Small aviation organizations operating under the Canadian Aviation Regulations Parts IV, V and VII Advisory circular  AC 107-002 Guidance on safety management systems development  

Surveillance and Oversight

Applicability Document Type References Description Additional information
All certificate types Operational policy CAD SUR-008 National surveillance policy Surveillance frequencies
All certificate types Inspector procedures SI SUR-001 Safety management system assessment and program validation inspection procedures  
All certificate types Inspector procedures SI SUR-002 Enhanced monitoring program  
All certificate types Inspector procedures SI SUR-003 Regulatory oversight activities during the transition to a safety management system  
All certificate types Inspector procedures SI SUR-006 Safety management systems – civil aviation non-compliance event review  

Fatigue Risk Management

Applicability Document Type References Description Additional information
Approved maintenance organizations   AC SUR-001 An explanation of the components of a fatigue risk management system (FRMS) toolbox and advice on how the components can be utilized to develop and implement an effective FRMS The information contained herein can be used by any organization to implement a FRMS on a voluntary basis.
Approved maintenance organizations Inspector procedures SI SUR-007 Fatigue risk management system assessment guide Corresponding regulation proceeding through the regulatory process; planned in-force Fall 2009.

Parts of the Canadian Aviation Regulations

Part I – General Provisions

Applicability Document Type References Description Additional information
All certificate holders Regulation Subpart 6 Requirement to appoint an accountable executive Some certificate holders have been exempted from this regulation for a specified period of time. See if this applies to you by checking the exemption under your Part of the Canadian Aviation Regulations below.
Operator types listed in subsection 107.01 Regulation Subpart 7 General safety management system requirements  

 

Part III – Aerodromes, Airports and Heliports

Applicability Document Type References Description Additional information
All airports Regulation Subpart 2
Division V
Requirement to implement a safety management system  
Airports listed in subsection 302.500 (1)
(Group 1)
Exemptions from regulatory requirements 1874 Exemption to facilitate implementation by holders of airport certificates Issued on
December 28, 2007
Airports not listed in subsection 302.500 (1)
(Group 2)
Exemptions from regulatory requirements 1944 Exemption to facilitate implementation by holders of airport certificates Issued on
December 10, 2008
Airports not listed in subsection 302.500 (1)
(Group 2)
Exemptions from regulatory requirements 1875 Exemption to provide more time to the holders of airport certificates to appoint an accountable executive Issued on
December 31, 2007
All airports Advisory circular AC 300-002 Implementation procedures for airport operators Compliance document
Gap analysis form
(RDIMS 4005701)
Sample project plan
Accountable executive selection flow chart
Accountable executive selection question list
All airports Inspector procedures SI 107-003 Acceptance procedures for implementation phases 2, 3 and 4 SMS Documentation Review Guide (RDIMS 4198634)
SMS On-Site Review Guide (RDIMS 4208267)
SMS Validation Summary Tables (RDIMS 4202929)
Acceptance letter template
Rejection letter template

Part V – Airworthiness

Applicability Document Type References Description Additional information
Approved maintenance organizations* Regulation Subpart 73
Division II
Requirement to implement a safety management system  
Approved maintenance organizations* Exemptions from regulatory requirements 1346 Approved maintenance organization certificates issued prior to May 31, 2005, under section 573.02 the Canadian Aviation Regulations Issued on
June 13, 2005
Approved maintenance organizations* Guidance material publication TP 14343 Implementation procedures guide for air operators and approved maintenance organizations Compliance document
Gap analysis form
Sample project plan
Accountable executive selection flow chart
Accountable executive selection question list
Approved maintenance organizations* Inspector procedures SI 107-003 Acceptance procedures for implementation phases 2, 3 and 4 SMS Documentation Review Guide (RDIMS 4198634)
SMS On-Site Review Guide (RDIMS 4208267)
SMS Validation Summary Tables (RDIMS 4202929)
Acceptance letter template
Rejection letter template

*Approved maintenance organizations that include ratings for an aircraft of a type that, if operated in commercial air transport, would be subject to CAR 705 (Canadian Aviation Regulations, Part 7 – Commercial Air Services, Subpart 5 – Airline Operations).

Part VII – Commercial Air Services

Applicability Document Type References Description Additional information
Airline operations Regulation Subpart 5
Division X
Requirement to implement a safety management system  
Airline operations Exemptions from regulatory requirements 1345 Exemption to facilitate implementation by holders of air operator certificates issued prior to May 31, 2005, under section 705.07 Issued on
June 13, 2005
Airline operations Guidance material publication TP 14343 Implementation procedures guide for air operators and approved maintenance organizations Compliance document
Gap analysis form
Sample project plan
Accountable executive selection flow chart
Accountable executive selection question list
Airline operations Inspector procedures SI 107-001 Acceptance procedures for implementation phases 2, 3 and 4 SMS Documentation Review Guide (RDIMS 4198634)
SMS On-Site Review Guide (RDIMS 4208267)
SMS Validation Summary Table (RDIMS 4202929)

Acceptance letter template
Rejection letter template

Part VIII – Air Navigation Services

Applicability Document Type References Description Additional information
Air traffic services operations Regulation Subpart 5 Requirement to implement a safety management system  
Air traffic services operations Exemptions from regulatory requirements 1873 Exemption to facilitate implementation by holders of air traffic services operations Issued on
December 28, 2007
Air traffic services operations Advisory circular AC 800-001 Implementation procedures for air traffic services operations Compliance document
Gap analysis form (RDIMS 4005701)
Sample project plan
Accountable executive selection flow chart
Accountable executive selection question list
Air traffic services operations Inspector procedures SI 107-003 Acceptance procedures for implementation phases 2, 3 and 4 SMS Documentation Review Guide (RDIMS 4198634)
SMS On-Site Review Guide (RDIMS 4208267)
SMS Validation Summary Tables (RDIMS 4202929)
Acceptance letter template
Rejection letter template
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